Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors, Assets in Motion
By Janet LevauxAfter the financial turmoil of 2008, the consultancy Cerulli predicts more than $800 billion will be transferred between distributors in 2009 as a result of advisors changing firms.
September 21, 2009
McCann Upbeat about Brokers; Hoping for One Set of RulesHe believes there should be one and only one set of rules for all advisors, regardless of what type of broker-dealer or RIA arrangement they have.
September 18, 2009
Voluntary Market Firing Up: EastbridgeConfidence in the future of the voluntary industry has rebounded since the end of 2008, a study finds.
September 14, 2009
Retail Sales and Business Inventories Rose in AugustRetail sales jumped higher in August than in the previous five months while business inventories saw their biggest rise in two years and business sales also rose after tumbling downward for two months, the U.S. Commerce Department reported Tuesday.
September 13, 2009
Minnesota's new viatical settlements law: Find it hereThis article contains a link to Minnesota's new viatical settlements law, which contains stipulations for licenses of brokers and providers in this market.
September 10, 2009
Gorman to Lead Morgan Stanley; Should Become CEO in 2010Leader of Morgan Stanley venture with Smith Barney and 18,450 advisors will also serve on firm's board of directors.
September 03, 2009
Morgan Stanley, Ratings Groups Face Fraud Claims on SubprimeIn the New York case, the plaintiffs claim Morgan Stanley wrongly marketed Cheyne as a high-quality investment, and that the rating agencies assigned improperly high ratings.
September 01, 2009
Schapiro Message to B-D CEOs: Watch Your Recruiting TacticsBroker-dealers must fulfill their supervisory duties and compliance role as they make upfront and ongoing promises to advisors.